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TRADEWINDS WEALTH MANAGEMENT

PORTLAND, OR · CRD 323879 · IAPD ↗ · 503-673-2828

$135.1MRegulatory AUM
4Advisory reps
4Employees
0Clients
251-500Planning clients
1Private funds
9States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
March 2026 — TRADEWINDS WEALTH MANAGEMENT now reports custody of client assets ($30.2M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
42
April 2024 — TRADEWINDS WEALTH MANAGEMENT notice-filed in MA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
73
April 2024 — TRADEWINDS WEALTH MANAGEMENT reports 251-500 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.